Senior Product Compliance Officer

Develop and document AML/KYC policies and proceduresConduct audits and reviews to ensure execution of compliance standards regularlyProduce detailed reports with recommendations based on findings during audits.Communicate with clients and address any concerns they have about ethical or other compliance matters within a department or divisionProactively...

THE COMPANY: Our client is full-service investment brokerage company based in the City. With an international presence and a strong compliance culture, they are an excellent employer.THE RESPONSIBILITIES:Review/audit/investigation requests from Exchanges and RegulatorsFATCA and CRS Audit and Advisory; ad hoc tax projectsResearch in relation to keeping up to...

An International Law Firm is looking for a Senior Compliance Analyst to join their dynamic team in London. This role primarily supports the conflicts team, alongside senior staff and wider departments. Within this role, you will maintain a high standard of service for clients, manage all regulatory aspects relative to the firm’s smooth operation and ensure...

THE COMPANY: We are working with a globally recognized FX and CFD Broker who are on the search for a Compliance Executive to join the firm. The firm are based centrally in the city close to Bank Station.THE RESPONSIBILITIES:Management and oversight of the compliance department, providing advice as necessary. Assess the effectiveness of the firm’s systems...

In this role you will be responsible for ensuring activities comply with applicable rules and regulations. You will leverage your compliance experience to develop and advise on policies, processes, and procedures. There will also be opportunities for you to support the business with new initiatives and provide a range of compliance training to ensure robust...

Prestigious International Bank, based in the City of London, are looking to recruit a Senior Compliance Officer. The role will include various duties in relation to Compliance. The role will assist the Branch’s Head of Compliance & MLRO in ensuring that the Bank meets its UK legal and regulatory requirements. Main responsibilities will include;Identifying...

Head of Product - Up to £140,0000 plus equity - 4 days a week in office Central LondonIn Product is partnered with one of the fastest growing software development Startups in London. We are looking to strengthen their Product Management team with the addition of a Head of Product. If you are driven to join an experienced C-Suite and pave your own career...

Conducting compliance testing in accordance with the CMP and assist the Head of Compliance in the preparation of written reports for senior management and the Board. Maintaining compliance policies and procedures. Supporting the Head of Compliance in identifying, responding to, and preparing for, regulatory change. Assisting the Money Laundering Reporting...

We are hiring a Senior Risk and Compliance Officer on behalf of an Employee Benefits and Pensions Administration client of ours.Reporting to the Head of Compliance, the role will be varied, covering all aspects of risk and compliance, including horizon scanning, managing risk topics & regulatory compliance for US, UK and India. As such, we are seeking...

We are delighted to be working with a leading Lloyd's syndicate who are seeking a Compliance Officer to add to their team. One of your primary focuses in this role will be ensuring that group regulated companies comply with all internal regulations and policies applicable to their activities, including activities authorised and regulated by the PRA, the...

MERJE has partnered with a leading multi-strategy investment firm and we’re on the lookout for a talented Compliance Officer join their London team. This role supports a team of two experienced Compliance specialists and will be focussed on helping them establish a robust EMEA Legal and Compliance platform as the company continues to grow.Key...

Regulatory compliance officer Full time/ Permanent Bank - City of London 3 days per week in office Paying up to £60,000 Day to Day Maintain a culture of compliance and ethical behaviour Proactive management of performance and targets Development of appropriate control and reporting structures, including that of segregation and resilience Open and timely...

About Us: BETA CAPITAL MANAGEMENT is a dynamic and forward-thinking financial firm dedicated to providing exceptional investment and wealth management services. We are committed to maintaining the highest standards of compliance and ethics in all our operations. To strengthen our team, we are seeking a diligent and knowledgeable Compliance Officer who shares...

We are InvestEngine, an exciting new investment platform in the Fintech space looking to change the way people look after their money and invest in their future. No more flutters on crypto or trading away hard-earned cash on yesterday’s biggest tech firm. We are building the platform for real people to make the most of their investments in the right way...

Compliance Officer - Global Quantitative Investment Management FundWe are excited to assist a leading global quantitative investment management fund in their search for a Compliance Officer to join their expanding team based in London. This is a fantastic opportunity for professionals with a strong background in commodities and experience in derivatives and...

MERJE are partnered with a leading Investment Manager who are looking for a Compliance Officer to join their fast growing and global team. Key Responsibilities: Manage a varied portfolio of regulatory compliance activities including: giving advisory opinions, providing training, developing policies and processes, approving new business initiatives, and...

Taylor Root is pleased to be working with one of the most well know names in media and broadcasting to recruit a Senior Data Protection and Compliance Officer.The role will provide frontline support on all areas of data protection but will also advise on anti-bribery and corruption, sanctions, conflicts of interest, modern slavery and other ESG requirements,...

The Senior Compliance Manager will act as an internal compliance consultant for the Group and its subsidiaries. This role, reporting directly to the Head of Compliance in London, focuses on crafting and implementing practical solutions for intricate compliance challenges within various regulatory frameworks. You will collaborate with the Head of Compliance...

Our client, a mid-sized financial institution, is looking to hire a Compliance Officer to join on an interim basis with a view to go permanent. The role will involve:Ensure all company activities comply with current regulations, with a specific focus on FCA requirements. Implement and enforce company compliance policies.Develop and maintain effective...

Our client, a well-established Insurance Managing General Underwriter, are looking to recruit a Compliance Officer to support the Company Secretary in managing corporate governance including SMCR, making company filings, preparing agendas and collating materials for Board and sub-committee meetings. You will be responsible for minute-taking and following up...